Wright Thomas Rowe

SEC source: 0001950731-25-000042 · primary_doc.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,030

SEC source: 0001950731-25-000035 · primary_doc.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 875

SEC source: 0001950731-25-000034 · primary_doc.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 929

SEC source: 0001950731-25-000041 · primary_doc.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 378

SEC source: 0001950731-25-000038 · primary_doc.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 726

SEC source: 0001950731-25-000039 · primary_doc.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 715

SEC source: 0001950731-25-000040 · primary_doc.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,139

SEC source: 0001950731-25-000037 · primary_doc.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 794

SEC source: 0001950731-25-000036 · primary_doc.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 518

SEC source: 0001246360-21-001011 · form.xml · derivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 5,862 shares

Expires not disclosed

F2 · derivative.exercise_price: Pursuant to the Merger Agreement, all outstanding restricted share units of the Company were assumed by Citizens and replaced with 916 restricted stock units of Citizens representing the right to receive 916 shares of common stock of Citizens, par value $0.01 per share.

F2 · price: Pursuant to the Merger Agreement, all outstanding restricted share units of the Company were assumed by Citizens and replaced with 916 restricted stock units of Citizens representing the right to receive 916 shares of common stock of Citizens, par value $0.01 per share.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, all outstanding restricted share units of the Company were assumed by Citizens and replaced with 916 restricted stock units of Citizens representing the right to receive 916 shares of common stock of Citizens, par value $0.01 per share.

F2 · derivative.expiration_date: Pursuant to the Merger Agreement, all outstanding restricted share units of the Company were assumed by Citizens and replaced with 916 restricted stock units of Citizens representing the right to receive 916 shares of common stock of Citizens, par value $0.01 per share.

SEC source: 0001246360-21-001011 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 8, 2021 (as amended from time to time, the "Merger Agreement"), among JMP Group LLC (the "Company"), Citizens Financial Group, Inc. ("Citizens") and Jolt Acquisition LLC, in exchange for $7.50 per share in cash, without interest.

SEC source: 0001246360-20-001869 · form.xml · derivative · entry 6

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,862

Underlying: Common Shares · 5,861 shares

Expires 2020-12-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

F3 · derivative.expiration_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

SEC source: 0001246360-20-001869 · form.xml · derivative · entry 5

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,723

Underlying: Common Shares · 17,562 shares

Expires 2020-12-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

F3 · derivative.expiration_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

SEC source: 0001246360-20-001869 · form.xml · nonDerivative · entry 4

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 429,058

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · security: Disposition of common shares to the Issuer resulting from the withholding of securities for the payment of tax liability relating to the vesting and delivery of the initial 50% of the restricted share units granted on February 5, 2020.

SEC source: 0001246360-20-001869 · form.xml · nonDerivative · entry 3

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 431,298

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: Disposition of common shares to the Issuer resulting from the withholding of securities for the payment of tax liability relating to the vesting and delivery of the remaining 50% of the restricted share units granted on February 6, 2019.

SEC source: 0001246360-20-001869 · form.xml · nonDerivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 438,010

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: Acquisition of common shares resulting from the vesting and delivery of the initial 50% of the restricted share units granted on February 5, 2020.

SEC source: 0001246360-20-001869 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 432,149

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Acquisition of common shares resulting from the vesting and delivery of the remaining 50% of the restricted share units granted on February 6, 2019.

SEC source: 0001246360-20-001312 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,587

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.78 to $2.82. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001289 · form.xml · nonDerivative · entry 3

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,012

F3 · price: This transaction was executed in multiple trades at prices ranging from $2.70 to $2.75. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001289 · form.xml · nonDerivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,262

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.72 to $2.7385. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001289 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,762

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.70 to $2.7254. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001235 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,262

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.6672 to $2.75. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001207 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,262

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.65 to $2.6947. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001203 · form.xml · nonDerivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 409,762

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.65 to $2.685. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001203 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,462

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.63 to $2.715. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001179 · form.xml · nonDerivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,462

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.63 to $2.645. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001179 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,462

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.63 to $2.64. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001161 · form.xml · nonDerivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 404,910

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.60 to $2.64. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001161 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 403,410

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.60 to $2.6186. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001145 · form.xml · nonDerivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,110

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.43 to $2.576. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001145 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 398,360

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.4785 to $2.4850. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-001139 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,360

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.415 to $2.47. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001246360-20-000415 · form.xml · derivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,285

Underlying: Common Shares · 11,723 shares

Expires not disclosed

F1 · security: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

F2 · derivative.exercise_date: Restricted share units vest 50% on December 1, 2020 and 50% on December 1, 2021.

F3 · derivative.expiration_date: Restricted share units expire upon vesting.

SEC source: 0001246360-19-002545 · form.xml · derivative · entry 3

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,562

Underlying: Common Shares · 17,562 shares

Expires 2019-12-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001246360-19-002545 · form.xml · nonDerivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394,610

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: Disposition of common shares to the Issuer resulting from the withholding of securities for the payment of tax liability relating to the vesting and delivery of the initial 50% of the restricted share units granted on February 6, 2019.

SEC source: 0001246360-19-002545 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401,322

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Acquisition of common shares resulting from the vesting and delivery of the initial 50% of the restricted share units granted on February 6, 2019.

SEC source: 0001246360-19-000463 · form.xml · derivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,124

Underlying: Common Shares · 35,124 shares

Expires not disclosed

F1 · security: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

F2 · derivative.exercise_date: Restricted share units vest 50% on December 1, 2019 and 50% on December 1, 2020.

F3 · derivative.expiration_date: Restricted share units expire upon vesting.

SEC source: 0001246360-18-002576 · form.xml · derivative · entry 3

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 3,552 shares

Expires 2018-12-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

F2 · derivative.expiration_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

SEC source: 0001246360-18-002576 · form.xml · nonDerivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 383,760

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: Disposition of common shares to the Issuer resulting from the withholding of securities for the payment of tax liability relating to the vesting and delivery of the remaining 50% of the restricted share units granted on February 7, 2017.

SEC source: 0001246360-18-002576 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 385,117

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Acquisition of common shares resulting from the vesting and delivery of the remaining 50% of the restricted share units granted on February 7, 2017.

SEC source: 0001246360-18-002441 · form.xml · nonDerivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 381,565

F2 · security: The range of prices for the common shares is from 4.95 to 5.0478. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001246360-18-002441 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,446

F1 · security: The range of prices for the common shares is from 4.91 to 4.9999. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001246360-17-003210 · form.xml · derivative · entry 6

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,552

Underlying: Common Shares · 5,736 shares

Expires 2017-12-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

F3 · derivative.expiration_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

SEC source: 0001246360-17-003210 · form.xml · derivative · entry 5

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,288

Underlying: Common Shares · 3,552 shares

Expires 2017-12-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

F3 · derivative.expiration_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

SEC source: 0001246360-17-003210 · form.xml · nonDerivative · entry 4

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,096

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: Disposition of common shares to the Issuer resulting from the withholding of securities for the payment of tax liability relating to the vesting and delivery of the initial 50% of the restricted share units granted on February 7, 2017.

SEC source: 0001246360-17-003210 · form.xml · nonDerivative · entry 3

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,460

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: Disposition of common shares to the Issuer resulting from the withholding of securities for the payment of tax liability relating to the vesting and delivery of the remaining 50% of the restricted share units granted on February 3, 2016.

SEC source: 0001246360-17-003210 · form.xml · nonDerivative · entry 2

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 372,924

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: Acquisition of common shares resulting from the vesting and delivery of the initial 50% of the restricted share units granted on February 7, 2017.

SEC source: 0001246360-17-003210 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 367,188

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Acquisition of common shares resulting from the vesting and delivery of the remaining 50% of the restricted share units granted on February 3, 2016.

SEC source: 0001246360-17-003159 · form.xml · nonDerivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 363,636

F1 · shares: The range of prices for the common shares is from 5.30 to 5.4103. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001246360-17-000598 · form.xml · derivative · entry 1

Wright Thomas Rowe · CIK 0001669193 · Director of Equities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,840

Underlying: Common Shares · 7,104 shares

Expires not disclosed

F1 · security: Restricted share units vest 50% on December 1, 2017 and 50% on December 1, 2018.

F2 · derivative.exercise_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.

F2 · derivative.expiration_date: Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.